Revista
de
Administração
http://rausp.usp.br/ RevistadeAdministração52(2017)148–162
Quality
and
Productivity
A
substantive
theory
on
the
implementation
process
of
operational
performance
improvement
methods
Uma
teoria
substantiva
sobre
o
processo
de
implementa¸cão
de
sistemas
de
melhoria
de
desempenho
operacional
Una
teoría
sustantiva
sobre
el
proceso
de
implementación
de
sistemas
de
mejora
del
desempe˜no
operativo
Darlan
José
Roman
a,∗,
Marilei
Osinski
b,
Rolf
Hermann
Erdmann
b aUniversidadedoOestedeSantaCatarina,Chapecó,SC,BrazilbUniversidadeFederaldeSantaCatarina,Florianópolis,SC,Brazil
Received17September2015;accepted23August2016 Availableonline30December2016 ScientificEditor:WesleyMendes-Da-Silva
Abstract
Thisstudyaimedtopresenttheoreticalcategoriesonthephenomenonoftheimplementationofperformanceimprovementmethodsinorganizations. ThemethodusedwasGroundedTheory,followingtheprocedurespresentedbyStraussandCorbin(2008).Inthisway,thestudywasconducted basedontheprinciplesoftheoreticalsampling,andthedatacollectionandanalysiswereconductedinalternatesequences,anditwascomposedby 05(five)samplegroups.Thetheoreticalsamplewascomposedof26(twenty-six)interviewsconductedin12(twelve)companies.Theparticipants weremanagerswhohavehadexperiencewithimplementationofassessmentandperformanceimprovementmethods.Thus,thesubstantivetheory “Aphaseof changeandlearning” wasbuiltup.Itconsistedof 09(nine)categories besidesthecorecategory.Accordingto theresults, the phenomenonofimplementationofperformanceimprovementmethodsisunderstoodasaphaseofchangeandlearningthatinvolvesbehavioral andstructuralaspectsoftheorganization.Itisconcludedthattheseaspectsshouldbeconsideredfromasystemicperspective,inordertointegrate structure,technologies,behaviorsandprocessesthatarepartofthephenomenonofimplementation.
©2016DepartamentodeAdministrac¸˜ao,FaculdadedeEconomia,Administrac¸˜aoeContabilidadedaUniversidadedeS˜aoPaulo–FEA/USP. PublishedbyElsevierEditoraLtda.ThisisanopenaccessarticleundertheCCBYlicense(http://creativecommons.org/licenses/by/4.0/).
Keywords: Implementation;Performanceimprovement;GroundedTheory
Resumo
Nesteestudo,teve-secomoobjetivoapresentarcategoriasteóricassobreofenômenodaimplementac¸ãodesistemasdemelhoriadedesempenho emorganizac¸ões.Ométodo utilizadofoiaGroundedTheory,seguindoosprocedimentosapresentadosporStraussandCorbin (2008).Desta forma,apesquisa foiconduzidabaseadanosprincípiosdaamostragemteórica,sendoque acoletaeanálisedosdadosforamrealizadasem sequênciasalternadas,ecompreenderam05(cinco)gruposamostrais.Aamostrateóricafoicompostapor26(vinteeseis)entrevistas,realizadas em12(doze)empresas.Osparticipantesforamgestoresquejátiveramexperiênciacomimplementac¸õesdesistemasdeavaliac¸ãoemelhoria dedesempenho.Destaforma,construiu-seateoriasubstantiva“Umafasedemudanc¸aeaprendizado”.Estaseconstituide09(nove)categorias, alémdacategoriacentral.Deacordocomosresultadosentende-seofenômenodaimplementac¸ãodesistemasdemelhoriasdedesempenhocomo
∗Correspondingauthorat:RuaNereuRamos,3777D,CEP89813-000Chapecó,SC,Brazil.
E-mail:[email protected](D.J.Roman).
PeerReviewundertheresponsibilityofDepartamentodeAdministrac¸ão,FaculdadedeEconomia,Administrac¸ãoeContabilidadedaUniversidadede SãoPaulo–FEA/USP.
http://dx.doi.org/10.1016/j.rausp.2016.12.005
umafasedemudanc¸aeaprendizadoqueenvolveaspectoscomportamentaiseestruturaisdaorganizac¸ão.Conclui-sequeestesaspectosdevemser consideradosapartirdeumavisãosistêmica,afimdeintegrarestrutura,tecnologias,comportamentoseprocessosquefazempartedofenômeno daimplementac¸ão.
©2016DepartamentodeAdministrac¸˜ao,FaculdadedeEconomia,Administrac¸˜aoeContabilidadedaUniversidadedeS˜aoPaulo–FEA/USP. PublicadoporElsevierEditoraLtda.Este ´eumartigoOpenAccesssobumalicenc¸aCCBY(http://creativecommons.org/licenses/by/4.0/).
Palavras-chave:Implementac¸ão;Melhoriadedesempenho;GroundedTheory
Resumen
Enesteestudioelobjetivo espresentar categorías teóricassobreelfenómenodelaaplicación desistemasdemejora dedesempe˜noenlas organizaciones.SeutilizaelmétododeGroundedTheory,siguiendolosprocedimientospresentadosporStraussandCorbin(2008);así,elestudio tienecomobaselosprincipiosdelmuestreoteórico.Larecopilaciónyanálisisdelosdatosserealizaronensecuenciasalternasycomprendieron 05(cinco)gruposdemuestras.Lamuestrateóricaconsistióde26(veintiséis)entrevistasrealizadasen12(doce)empresas.Losparticipantes fuerondirectivosqueteníanexperienciaconimplementacióndesistemasdeevaluaciónymejoraderendimiento.Así,fueconstruidalateoría sustantiva“Unafasedecambioyaprendizaje”,queconstade09(nueve)categorías,ademásdelacategoríacentral.Deacuerdoconlosresultados, seentiendeelfenómenodelaimplementacióndesistemasdemejoradedesempe˜nocomounaetapadecambioyaprendizajequeincluyeaspectos conductualesyestructuralesdelaorganización.Seconcluyequeestosaspectosdebenserconsideradosdesdeunavisiónsistémica,conelfinde integrarestructura,tecnologías,comportamientosyprocesosqueformanpartedelfenómenodelaimplementación.
©2016DepartamentodeAdministrac¸˜ao,FaculdadedeEconomia,Administrac¸˜aoeContabilidadedaUniversidadedeS˜aoPaulo–FEA/USP. PublicadoporElsevierEditoraLtda.Esteesunart´ıculoOpenAccessbajolalicenciaCCBY(http://creativecommons.org/licenses/by/4.0/).
Palabrasclave: Implementación;Mejoradedesempe˜no;GroundedTheory
Introduction
Theorganizationsstartedtofeeltheneedtoresorttomodels andtoolsinanattempttomeettherealnecessitiesofthecontext inwhichtheyoperate,seeking,thus,toguaranteetheircontinuity andassurecompetitiveadvantages.However,itisincreasingly clearthatasignificantpartofthechangeprogramsinthe orga-nizationshasdifficultyinoperationalization.Theresultsoffered bythemodelsdonotalwaysoccur,andtheeffortsmade(time, structureandmoney)endupbeingwasted.
Despitethegreatamountofpublicationsaboutperformance assessment,thereisstillalackofapproachesregardingthe prob-lemsanddifficultiesassociatedtotheimplementationofchange, andthereis evidenceof highlevelsof failureonthe applica-tionsoftheperformanceimprovementmethods(Bourne,Neely, Mills,&Platts,2003;Hashmi,Khan,&Haq,2015;Neely& Bourne,2000;Scherer&Ribeiro,2013; Trad&Maximiano, 2009;Waal&Counet,2009;Walter&Tubino,2013).
Therefore,inthisresearchitissoughttodiscussthefollowing question:what isthe meaningof theimplementationof orga-nizationalperformanceimprovementmethods,experiencedby businessmanagers?Basedonthisquestion,itwassoughtto clar-ifyhowtheorganizationsdealwiththedifficultiesandtheease duringthephaseofimplementationofoperationalperformance improvement,whichare theproblemsfaced by the organiza-tionsduringthe implementationphaseandhowtheinitiatives maybecomemoreefficientandeffective.
In light of the foregoing, the objective of this study is to present theoretical categories about the phenomenon of implementation of operational performance improvement in organizations,basedontherealityexperiencedbybusiness man-agers.Themodelbuildingtookplacefromtheinvestigationof realcasesthathadexperienceintheapplicationofoperational performanceimprovementmethods.
Inordertoachievetheobjectives,themethodologyusedin thisworkwasbasedontheGroundedTheoryprinciples.Glaser and Strauss(1967) explain that inthe Grounded Theory, the generationofassumptionssubstantiatedindataisawayof get-tingtoanappropriatetheoryforitsallegeduse.Theconcernis relatedtotheconstructionofknowledgefromspecificrealities. Theexistingstudiesfocusonthedescriptionofcategoriesand insteadofontheirplanningortheorization.Theydiffer, there-fore,fromtheproposalofthisstudy.AccordingtoStraussand Corbin(2008),thereisadifferencebetweendescription, concep-tualplanningandtheorization.Inaccordancetoaresearch,itwas foundthatthestudiesthatfocusonthethemeofimplementation aredescriptive.FromtheresearchdoneinthedatabasesScielo, SpellandPortaldePeriódicosCapes[Capes JournalsPortal], worksdealingwiththisthemewiththeintentionofconceptual planningortheorygenerationwerenotfound.Anotheraspect differing thisstudy fromthe othersisrelatedto theproposal ofnotstudyingaparticularmodel,butproposingamore com-prehensiveandabstractresearch.Thus,theuseofthegrounded theoryprovidesthisstudycertainlevelofunprecedentednature, consideringthethemeapproached.
Itiscommonfortheperformanceassessmentand measure-mentmodels(TQM,5S,SixSigma,andothers)tobedescribed inliteratureasperformanceimprovementmethodsor continu-ousimprovementmethods(Attadia&Martins,2003;Frederico &Martins,2012;Goessler,2009;Gonzalez&Martins,2007; Lima,Carvalho,&Herkenhoff,2010;Silva&Araújo,2006).In thissense,alongthisstudytheuseoftheexpressionperformance methodwillbecommon.
emergedfromthedataandtheclosenessoftheresultswiththe literaturearehighlighted.Attheend,thesectionisdedicatedto thefinalconsiderations.
Theimplementationofperformanceimprovement
methods
AccordingtoBeber,Ribeiro,andNeto(2006),“...itcanbe
noticedthat theenterprisesstill livewithasubstantialfailure rate.Itisuptotheacademy,asgeneratorofknowledge,to ded-icatetothischallengeimposedbytheenterprises,understandit andpropose solutions”1 (pp.2–3).Justas importantas estab-lishingevaluationsandimprovementplansistoturntheminto objectivesandfollowtheirimplementation.Duringthe imple-mentation,itisimportanttopayattentiontopossiblediversions, understandtheir causesandinteractionsandprioritizeactions abletokeeptheproposedobjectiveinmind.“Inshort,the suc-cessoftheimplementationofastrategicobjectiveisassociated tothemanager’sabilitytomanageitsimplementationbroadly” (Schmidt,Santos,&Martins,2006,p.13).
Discussingspecificallytheimplementationofthelean pro-duction,WalterandTubino(2013)concludethat“undoubtedly, thelackofaclearunderstandingabouttheimplementation per-formancemaycontributesignificantlytothefailureofthelean practices”(p. 34).Accordingly, Hashmi etal.(2015)provide resultsontherelationbetweentheimplementationofthelean manufacturingandtheoperationalperformanceimprovement. Theauthorsevincethattheleanimplementationmaybecomea complexandlengthyprocess,andtheperformancewillbebetter astheactionsareimplemented.Attentionisdrawntothe impor-tanceoftheexistenceofaplanningandascheduleofactionsto beintegratedtotheroutineoftheorganizations.
In thesameline, butemphasizingthemodel Hwangetal. (2015),SixSigma(Rosa&CauchickMiguel,2012)understand that“... studiesaboutthe keyfactorstoSixSigma’s success
couldhelptoanswerthesequestions(onthehighabandonment rate),buttheyarerelativelyneworlimitedinnumberandfocus ofanalysis”(p.649).
WaliandBoujelbene(2011),inturn,explainthatthereisa relationbetweentheorganizationalcultureandtheeffectiveness oftheimplementationoftheTQM(TotalQualityManagement) system.Organizationswithaculturealignedtothechangetend to get successful implementation that impact directly on the operationalperformanceimprovement,atfirst,andonthe finan-cialperformanceinthemedium-term.MadapusiandD’Souza (2012)analyzedthatthesuccessfulimplementationofanERP (EnterpriseResourcePlanning)systemmayimprovethe oper-ationalperformance.Theauthorsverifiedthattherearenotbig differencesinimplementingisolatedmodulesorthewhole sys-tem.
Hwang, Yang, and Hong (2015) support the existence of a relation between implementation of an ERP system and improvementinoperationalperformance.However,theauthors warn that this relation is conditioned to the way the ERP
1 AlltranslationsfromPortugueseareours.
is implemented. On this subject, factor like the size of the enterprise, the complexity of the products and the existence of implementedsystems(5S, Lean,SixSigma)canaffectthe intensityoftheperformanceimprovement.
AccordingtoValentim,Politano,Pereira,andFilho(2014), in many cases, the ERP system update is necessary and, in these cases,the difficultiesare similartothe ones faced dur-ingtheimplementationitself.Amongtheaspectsthatinfluence in theupdate (andintheimplementation) someofthem out: changeintheprocesses;topmanagementsupportand commit-ment;involvementofpeople;consulting;andplanning.Senaand Guarnieri(2015),investigatingtheERPimplementationprocess inthepublicsector,highlightthatthegroupmanagement,the knowledgeaboutinformationtechnologyandtheresistanceto changesarefactorsthatconsiderablyinfluenceintheprocess.
GomesandNeto’s(2015)studyfocuswasthe implementa-tionofcollaborativemethodsinthemanagementofthesupply chain.Thefollowingfactorsarehighlightedaslimitingfactors for implementation:topmanagementsupport;communication problems;ill-preparedorinexistentimplementationteams; lit-tle knowledge about the method; lack of alignment with the businessstrategy;inexistentcollaborationculture.
InAlbertin’s(1996)study,itcanbehighlightedthattheuse ofinformationsystemscanbeadifferentialintermsof competi-tivenessincrease.However,theimplementationofthesesystems isnotasimpleprocess.Theauthorhighlightsseveralaspectsthat mustbeconsideredbeforeandduringtheimplementation: con-textoftheenterprise,culture,topmanagementsupport,planning andadherencetothebusinessstrategy.Theteammanagement and the organizational culture are also highlighted by Dolci, Lunardi,andSalles(2015)intheprocessofimplementinggreen ITsystems.
Deus, Seles, andVieira(2014) workfocus onthe existing barrierstotheimplementationofthesystemISO26000,which dealswiththeaspectsrelatedtothesocialresponsibilityinthe organizations.SomeaspectshampertheimplementationofISO 26000,andtheyarelistedhere:lackofknowledgeorconscious aboutCSR,short-termcultureofthebusinesscommunity,lack of knowledgeaboutthesystemISO26000,andinternal com-municationproblemandwiththestakeholders.
AccordingtoSchererandRibeiro(2013),therisk manage-ment is essential during the implementation of improvement programs,duetothestructuralandorganizationalchangesthat tendtohappen.InRocha-PintoandDelCarpio’s(2011)words: “... the adequacy of the tool to the organizational context,
respecting boththewayhowenterprisesworkandthe imple-mentation pace to each organization, without compromising the finalobjective, representsalesson that canguarantee the implementationsuccess”(p.323).
Table1
Importantaspectsrelatedtoimplementation.
Criticalaspects Relatedproblems References
Topmanagement commitment
Timeconstraintsanddailypressureintheworkplaceresultin prioritizationofshort-termproblemssolvency,whichdelayor hinderthedevelopmentoftheprogram.
Valentimetal.(2014),SchererandRibeiro(2013),Waal andCounet(2009),Beberetal.(2006),Prietoetal.(2006),
Bourneetal.(2002),Al-MashariandZairi(1999),Albertin (1996)
Resistanceandlackof people’sinvolvement
Lackofmotivation,enforcementofthingsandpoor understandingaboutthemodelincreasetheresistanceand hampertheprocessofpeople’sinvolvement.
Valentimetal.(2014),SenaandGuarnieri(2015),Scherer andRibeiro(2013),WaalandCounet(2009),Beberetal. (2006),Al-MashariandZairi(1999)
Implementationrequires moretimeandeffortthanit wasexpected
Itensuresthatthemembersoftheorganizationfell discouraged,duetothelackofshort-termpositiveresults, resultinginlackofcommitmentandglobalabandonment.
WaalandCounet(2009),Beberetal.(2006),Bourneetal. (2002)
Externalconsulting Inexperiencedconsultantsandwithpoorknowledgeaboutthe company’sactivitysectorwillhavedifficultiesinachieving positiveresults.
Valentimetal.(2014),Rocha-PintoandDelCarpio(2011),
Beberetal.(2006),Al-MashariandZairi(1999)
KnowledgeaboutProject management
Theimplementationprocesstendstobesofterwhenthe organizationshowsmatrixtypestructureandisfamiliarwith theprinciplesoftheprojectmanagement.
SchererandRibeiro(2013),RosaandCauchickMiguel (2012),TradandMaximiano(2009)
Improperuseofthemodel Partialapplicationsorexaggeratedadaptationsofthemodelare incompatiblewiththeimplementation,accordingtothe principlesdescribedintheliterature.
Beberetal.(2006),Prietoetal.(2006),Al-Mashariand Zairi(1999).
Centralization Thedifficultyofpowerdecentralizationandofdecision-making maketheprocessmorebureaucraticandslow.
Beberetal.(2006),Prietoetal.(2006)
Lackofintegrationwithother systems
Thenewprogramshouldnotbeseenassomethingisolated fromtheday-to-dayoperations.Theactionplanningshould foreseetheintegrationofthenewmodelwiththecurrent methodsandthedevelopingones.
Beberetal.(2006),Bourneetal.(2002),Al-Mashariand Zairi(1999)
Lackofsystemicview Theimplementationmustconsiderthesystemicaspectsthat ruletheorganization’sfunctioning.Otherwise,therecouldbe transferofbottlenecksand/orconflictofinterests.
SchererandRibeiro(2013),Beberetal.(2006)
Scarcityofresourcesand capabilitiesavailableto implementation
Organizationsthatwishtobegintheimplementationcannot freeupenoughresources(financial)andcapabilities(people) forasuccessfulimplementation.
SchererandRibeiro(2013),WaalandCounet(2009)
Organizationisatanunstable stage
Theorganizationisinanunstableenvironment,itisbusywith greaterprojects(forexample,acquisitions),facesfinancial problemsorundergoesissuesthatleadtoahighstresslevelto themanagement.
Beberetal.(2006),Albertin(1996)
Oprogramanãotemum objetivoclaro
Faltadeentendimentosobreofatodequeoprogramaémais queumsistemademedidasecontrole,resultaráem comportamentocéticoehostil.
WaalandCounet(2009),Beberetal.(2006)
Theprogramdoesnothavea clearobjective
Lackofunderstandingaboutthefactthattheprogramismore thanasystemofmeasuresandcontrolwillresultinskeptical andhostilebehavior.
WaalandCounet(2009),Beberetal.(2006)
Theorganizationdoesnot haveaclearand understandablestrategy
Iftheorganization’smissionandobjectivesarenotcleartoits members,theprogram’sstructuringaspectswillprobablynot berelevanttotheorganization.
GomesandNeto(2015),WaalandCounet(2009),Beber etal.(2006),Albertin(1996)
Difficultyindisseminating informationtothe organizationallevels
Asaresult,thelowerlevelsoftheorganizationmayoperatein misalignmentwiththecorporativeobjectives.Itmaygenerate contradictionsanduseofindicatorsdifferentfromthe establishedinPAS.
WaalandCounet(2009),Beberetal.(2006),Prietoetal. (2006),Bourneetal.(2002)
Thereislackofknowledge andabilityaboutthemodel
Thelackofknowledgeandability(forexample,insufficient training)inrelationtothecharacteristicsofPASmayresultin partialormistakenuseofthissystem.
GomesandNeto(2015),Hashmietal.(2015),Schererand Ribeiro(2013),WaalandCounet(2009),Tradand Maximiano(2009),Prietoetal.(2006),Al-Mashariand Zairi(1999)
Difficultiesindefining relevantindicators
Iftheorganizationdoesnotovercomethisdifficulty,the membersmaysimplygiveuptheimplementation,duetothe greateffortnecessaryandthelackoftrustaboutthequalityof theestablishedindicators.
SpessattoandBeuren(2013),WaalandCounet(2009),
Beberetal.(2006),Prietoetal.(2006),Bourneetal. (2002),Al-MashariandZairi(1999)
Lackofperformance managementculture
Theorganization’slackofcultureinachievingresultsand continuallyimprovingmayaffecttheuseofPASinthesenseof enhancingtheperformance.
Dolcietal.(2015),SchererandRibeiro(2013),Rosaand CauchickMiguel(2012),WaalandCounet(2009),Trad andMaximiano(2009),Bourneetal.(2002),Al-Mashari andZairi(1999),Albertin(1996)
Responsiblememberto implementandcarryout theprogram
ThelackofamemberassignedanddedicatedtosupervisePAS couldresultintheabandonmentofissuesrelatedtotheupdate andresolutionoftheprobleminthesystem.
Table1(Continued)
Criticalaspects Relatedproblems References
Leadership Theleaders’behaviormustbepositiveandstimulatingin relationtotheprogram.Itistheleaders’roletoprovide favorableworkconditionsandtransmitthenecessary knowledge.
SchererandRibeiro(2013),Rocha-PintoandDelCarpio (2011),TradandMaximiano(2009),Bourneetal.(2002),
Al-MashariandZairi(1999)
Planningandimplementation plans
Thelackofplanningandestablishmentofconsistentaction planscontributestothelossoffocus.Issuesrelatedtonecessary resourcestotheprogrammustbeclearandaccessible.
Hashmietal.(2015),Valentimetal.(2014),Al-Mashari andZairi(1999),Albertin(1996)
Theresultsoftheprogramdo notbenefittheorganization
Ifaftertheimplementationthereisnotimprovementinthe resultsrelatedtotheperformance,therewillbestrong orientationstoabandontheprogram.
Rocha-PintoandDelCarpio(2011),WaalandCounet (2009)
Thereisnotenoughfocusin internaladministrationand control
Iftheprogramisusedmainlytotransmitexternalrequirements insteadofinternalcontrol,themembersmayconsiderthe informationlessrelevant.
WaalandCounet(2009)
Maintenanceandupdateof PASafterthe
implementation
Ifthemodelisnotalwaysupdatedwiththeenvironment changes,itwilllosethecapacityofprovidingcorrect informationaboutwhichimprovementactionsmustbe undertaken.
WaalandCounet(2009)
Source:Compiledbytheauthors.
theresearchforarticlesinthedatabasesScielo,SpellandPortal dePeriódicosCapes[CapesJournalsPortal],usingthe follow-ingkeywords:implementation,performanceimprovement,and performanceassessment,inEnglishandinPortuguese.
Contributing tothisdiscussion,Bourne, Neely, Platts,and Mills(2002)highlightthatthemainaspectsthatmayinfluence tothedeterminationoftheimplementationsuccessarerelated tothecontextissues(requiredtimeandeffortandresistanceto change),processissues(strategicmisalignmentandundefined objectives)andcontentissues(difficultiesindealingwith qual-itativeaspectsandpoorlyestablishedmetrics).Moreover,itis possibletoidentify,inliterature,influentaspectsthatrelateto theorganization’sproposal,structureandculture.
Thebig challengeof the currentconditions relatedto per-formance management ishow toextract as much as possible fromthedataobtainedbytheapplicationofthemeasuringand assessmentmethods.Itnecessarilyinvolvesthefortificationof themodelsdevelopmentprocessand,mainly,theunderstanding andovercomingofrecurrentdifficultiesoftheimplementation process.Aboutthislastaspect,besideswhathasalreadybeen exposed,itwillbeimportanttoconsiderpolitical,infrastructural andfocusissues(Neely&Bourne,2000).
Methodology
Thissection isdivided into twosubsections. Thefirst one presentshistoricalandconceptualaspectsonthegrounded the-ory.Onthesecondmoment,thecharacterizationoftheresearch ispresented,inwhichtheprocessofdatacollectionandanalysis ishighlighted.
Groundedtheory
Thegroundedtheory,alsoknowninBrazilasdata-based the-ory(teoriafundamentadaemdados[TFD]),wasdevelopedby GlaserandStrauss(1967)asamethodtodeveloptheoryfrom thedatasystematicallyobtainedfromsocialresearch(Büscher, 2007).Although thesetwo authors(Glaser & Strauss, 1967)
presented differences on the way to conduct a research, the contributionofbothwasequallyimportant.Straussgraduated from University of Chicago, which has a strong traditionin qualitative research.Glaser,inturn,graduatedfromColumbia University,andhisresearchattitudewasinfluencedby quanti-tativemethodsandanempiricalperspective(Strauss&Corbin, 2008).
OnthebookTheDiscoveryofGroundedTheory,Glaserand
Strauss(1967)soughttoevincehowthediscoveryofthetheory comingfromthedata–systematicallyobtainedandanalyzedin socialresearch–canbepromoted.Themainpointdiscussedby theauthorsisthatthegenerationofgroundedtheoryisawayto gettoanappropriatetheorytoitsallegeduse.
Thefoundersofthismethodtookdifferentwaysafterthe pub-licationoftheseminalbookin1967.WithGlaserandStrauss’ separation, two main referencelines to usethe method were defined. According to Büscher (2007), several authors have highlightedthat,actually,thetwowaysundertakentoconduct thestudiesongroundedtheoryareverydifferent.Thus, consid-eringthedifferencesbetweentheapproachesestablishedafter thedisruptionofthepartnershipbetweenGlaserandStrauss,it isimportantthattheresearchersclearlydecidewhichwaythey willfollowintheirstudies.
Glaser’slineadoptsamorepositivistattitude,suggestingthe observer’sneutralityandthatthedata,eventually,willdiscover therealconditionsofcertaincontext.Inasecondunderstanding line, StraussandCorbin(2008)suggestthat grounded theory shouldbeapproachedwithamoresubjectivistand interpreta-tiveview,inwhichtheresearchers’workandinterpretationare essential to thedata andtheory construction.Thismore sub-jectivist and interpretative stance is alsoverified inCharmaz (2009).
On the theory that emergesfrom the data,theyreveal the individuals’behaviorinthelightofspecificsituations.The con-siderationoftheliteratureorexperiencesofsimilarphenomena isrecommendedduringtheresearchprocess,however,asStrauss andCorbin(2008)explain:“...itdoesnotmeantheliterature
AccordingtoGlaserandStrauss(1967),thereareformaland substantivetheories.Thefirstonesareknown asbigtheories; theyarelessspecificandcanbeappliedtoawidercontext.The substantiveones, inturn,are related toaspecificproblem, a substantivecontext,andtrytoexplaincertainphenomenafrom thiscontext.Thesubstantivetheoriescanbereplicatedbyother studies,and,inthatway,theycanstartpresentingformaltheory characteristics.
Theinvestigationthroughthegroundedtheorygoesbeyond thedescriptionhorizonwhenworkinginthelevelof the con-ceptualplanning,withthecreationofcategories,propertiesand dimensionsandtheirrelations.StraussandCorbin(2008)affirm that“...theorydenotesasetofwell-developedcategorieswhich
aresystematicallyinterrelated throughstatements of relation-shiptoformatheoreticalframeworkthatexplainssomerelevant phenomena”(p.35).
AccordingtoStraussandCorbin(2008),althoughthe quali-tativeresearchisnormallylinkedtotheinductionfromspecific casestogeneralones,thedeductionprocessalsoexistsasdata areinterpretedandconceptualized.Therefore,deductiontakes placebasedondata,butalsoonpreviousexperiencesand knowl-edgeandonthediscussionsthatoccurduringtheresearch.
Characterizationoftheresearch
Thisstudy is characterized as qualitative, exploratory and descriptive,andgroundedtheorywasusesasmethod.Thecases wereselectedthoroughtheoreticalsampling.Intheprocessof datacollection,non-structured andsemi-structuredinterviews wereheld,inadditiontoobservationanddocumentalresearch, and the interview was the main tool used. The data analy-sis was done using techniques such as microanalysis, open, axialandselectivecoding, inwhichthesoftware NVivo, ver-sion 9.0 was used as auxiliary tool. The analytical scheme, knownas“paradigm”wasalsoused,composedbyconditions, actions/interactionsandconsequences.Inthisstudy,grounded theorywasbuiltbasedontheproceduressuggestedbyStrauss andCorbin(2008).The literature reviewsection was written startingfrom the articles researched onthe databases Scielo, Spell and Portal de Periódicos Capes, using the keywords implementation, performance improvement and performance evaluation,inEnglishandinPortuguese.
The theoretical sampling was composed of five sample groupsand12different cases,asshowninTable2.The time elapsingduringdatacollectionandanalysiswas14months.
Inthisstudy,theprocessofdatacollectionstartedwiththe selectionofcompaniesthatwerepartofthefirstsamplegroup. Theselectioncriteriawerebasedonthequestionandobjectiveof theresearch.Basically,threecriteriaweremet:(1)tohave expe-riencedortobeexperiencingimplementationof performance improvementmethods;(2) tobeat themarket for atleast18 years;and(3)tobelocatedinSantaCatarinaState.Regarding the firstcriterion, the researcher faced three different scenar-ios:companies that failed in the implementation,companies thatsucceeded,andcompaniesexperiencingtheimplementation process.
Table2
Theoreticalsampling.
Samplegroup Company Interviewee Interview
First A ProductionManager A1 B AdministrativeManager B1 EngineeringManager B2 C ProductionManager C1 ProcessEngineer C2 ProcessAnalyst C3 Second D OperatingManager D1 OperatingCoordinator D2 ProjectManagerL D3 ProjectManagerI D4 ProjectManagerA D5 E FinancialPlanning
Manager
E1
F Consultant F1
Third G ProductionManager G1 H OperatingManager H1 I ProductionManager I1
PCP(Planningand controlofproduction) Coordinator
I2
J ExecutiveDirector J1 Forth J ExecutiveDirector J1′
L GeneralManager L1 HumanResources
Manager
L2
M IndustrialDirector M1 ProductionManager M2 Fifth A ProductionDirector A1′
C ProcessEngineer C2′
OperatingCoordinator C3
Source:Preparedbytheauthors.
Inthefirstsamplegrouporopensamplingconstitutedinthe first stage of the research,6 (six) individual interviews were conductedwithprofessionalsfrom3(three)companiessituated in Western Santa Catarina. At this stage, in-depth and non-structuredinterviewswereconducted,undertheguidanceofthe objectiveandquestionoftheresearch.Atthesecond stageof thetheoreticalsampling,7(seven) individualinterviewswere conducted with professionalsfrom two companieslocated in GrandeFlorianópolis.Thesewerein-depthandsemi-structured interviews.Theinterviewscriptwaselaboratedfromtheresults found inthefirst sample group.The choiceof the caseswas influencedbytheresultsofthedataanalysisofthefirstsample group,whichindicatedtheneedtoexploretheenvironmentof alargecompany,aswellasinterviewsomeoneconnectedtothe financialareaandanexternalconsultant.
inaccompanying the survey. It was also chosen tointerview managersof companiesexperiencedintheimplementationof the methodsBSCandLean production, whichare frequently approached inliterature. The interviewscript was elaborated fromthedataanalysisofthepreviousstageandcountedon12 (twelve)emergingcategories.Themodeltheoreticalsaturation startedtogetmoreevidentbecauseoftheinterviewsconducted inthefourthgroupofcases,accordingtoM2’scomment:
Idon’thavethewholetruth,butIhavesomeexperienceand Iseethatwhatwaspresentedisverywell-alignedtowhatwe havealreadywitnessedintheprocess,andmanythingsthat wehavewitnessedthatdidn’tworkwasbecausereallyoneor moreaspectspointedhereendedupunobservedornottaken seriously,anditendsupreturningtohowitwasbefore.
Itisimportanttohighlightthattheresearcheriswhonotices that the theory under construction is reaching the theoretical saturation.The evidencesarisingfromtheinterviews, accord-ing totheprevious comment, onlyreinforcethisresearcher’s perceptioninrelationtothesaturation.Othercommentsinthis regardweremade.Thus,itwasoptedtoconcludethetheoretical samplingwithafifthsamplegroup,returningtothefirstcases, inordertomakeaselectivesamplingandoneofthestagesof the model validation as well. The intention was tointerview alltheprofessionalswhohadpreviouslyparticipated,however, thispossibilitywasdiscardedforseveralreasons.Therefore,the fifthandlaststageofthetheoreticalsamplingwasheldintwo companiesfromWesternSantaCatarina.
Allthepreviousinterviewswererecordedandtranscribed; however,theinterviewscorresponding tothefifthstageofthe theoretical sampling were recorded, but not transcribed. The optionnottotranscribetheinterviewswasmadebecauseinthis stageofthe researchthe intentionwastosaturatethe already developedcategoriesandassistintheconceptualizationofthe relationshipsamongthecategories.Thus,theinterviewswere carefully listened to, observationswere written, and relation-shipmemoswereelaborated.Inthefollowingsection,thepath coveredtodatacollectionandanalysis.
Theprocessofdataanalysistookplacefromthe microanaly-sis,open,axialandselectivecoding.Themicroanalysisconsists of a processof detailed dataanalysis, often times made line bylineorwordbyword.Theopencodingistheanalytical pro-cesswherebytheconceptsareidentifiedandtheirpropertiesand dimensionsaredetectedinthedata.Theaxialcoding,inturn, consistsoftheprocessofrelatingcategoriesandsubcategories. Finally, theselectivecoding isthe processof integratingand refiningthetheory(StraussandCorbin,2008).
The transcribed interviews were imported to the software of qualitativedataanalysis NVivo,version9.0.Thissoftware wasusedduringallthestagesof theresearchandit consider-ablyfacilitatedtheworkwiththedata,mainlyinthefillingof the transcribedinterviews,creationof categories andmemos. AccordingtoLage(2011),NVivoisoneofthemostused soft-waresinBrazilianacademic environment,anditwasadopted bytheresearchcenterofalargepartoftheuniversities,notably Unicamp,USP,andURFGSand,especiallyinsocialsciences andhealthareas.
After data collection and analysis and the theoretical sat-uration, the built theoretical framework was validated. The validation of the built theoreticalframework from the proce-duresprovidedbyGroundedTheorymustnotbeunderstoodas quantitativetest.Themainconcerninthisstageistoverifyif theelementsconstitutingthetheoryeffectivelyreflectwhatwas said duringthe interviews,inotherwords, ifthe abstractions performedbytheresearcherareinaccordancetotherawdata.
According toStrauss andCorbin(2008),there areseveral waystovalidatethetheoreticalscheme.Oneofthewaysisto returntotherawdatainordertocomparethemtotheaspects composing the scheme. Another way of validation cited by Strauss andCorbin (2008) is to meet the participants of the researchandpresenttheframework,itscategories,properties, dimensions and relationships. The informants must consider themselves as part of the scheme.Thetheoretical framework builtinthisstudywasvalidatedinthetwowayspreviouslycited. Aftertheconclusionofthefourthstageofthetheoretical sam-ple,therereadingofalltheinterviewsbeganinordertomakea high-levelcomparativeanalysis.Atthisstage,someadjustments ofthemodeltookplace,especiallyrelatedtothepropertiesand dimensions. Theotherstageof theframeworkvalidation was doneresumingthecasesthatformedthefirstsamplegroup.
Besides the theoretical validation, the methodological validationwasperformed.Therefore,themethodological proce-dureswereassessedandvalidatedbyDoctorProfessorAndreas BüscherinHochschuleOsnabrück–UniversityofApplied Sci-ences locatedinthe cityofOsnabrückinGermany,whilethe researcherwasatthatUniversity.Themethodologicalvalidation tookplacestartingfromfiveformalmeetingswiththespecialist professor,withanaveragedurationofoneandahalfhoureach meeting.Additionally, severalcomparativereadingsofthesis, dissertationsandarticlesthatusedthegroundedtheoryin pro-posalssimilartotheonedescribedinthisstudyweremade.In thefollowingsectionthetheoreticalmodelthatemergedfrom thedataispresented,whichisentitled“AphaseofChangeand Learning”.
Presentationanddiscussionoftheresults
According to the results achieved, the implementation of performanceimprovementmethodscanbeunderstoodfroma perspective of changeandlearning.Structuralandbehavioral changesarenecessaryand,likewise,theorganizationundergoes aphaseofdevelopmentandlearning,acquiringcompetencesto dealwiththedynamicandevolutionaryenvironmentthat char-acterizesthemarket.Themodelemergedfromthegroupingby similarityofthecodesgeneratedinthesoftwareNVivo, origi-natingthecategories.Thecodesarosefromthecodificationof thetranscribedinterviews.
A Phase of Change and
Learning
Reality of the Company
Change of Culture
Competitive ability
People’s involvement Control of results
Communication
Top Management Support Know-how
Planning
Fig.1.Substantivetheory:“Aphaseofchangeandlearning”.
Source:Preparedbytheauthors.
Inthesamedirection,planningandknowledgearealso con-ditionsthat directly influence inthe implementation process. Acompanythathasagoodplanning,withwell-definedaction plans,indicatorsandresponsiblepersons,willhaveafavorable condition. Likewise, the degree of knowledge on the model tobeimplemented,inconjunctionwithaspectsrelatedtothe projectmanagement,willhaveanimpactontheconductofthe program.
The top management support, in turn, is a condition that canchange substantiallyhow theimplementationtakesplace. Ifthereisachangeinthemanagement,forexample,the inten-sityofthesupportmaychange.Itisimportantthatthedecisionof beginninganimplementationcomefromdehighmanagement. Thematterofconvincingthemanagementabouttheimportance oftheprograminfluencesandisinfluencedbytheexistenceofa consistentplanning.Therefore,thetopmanagementknowledge onthemodeltobeadoptedinterferesdirectlyinthesupportand commitment.
In light of the conditions established, actions and interac-tionsarise.Theyarestrategiesthattheorganizationundertakes inordertodealwiththesituationsandproblemsbelongingtothe implementationprocess.Thestrategyofevolvingpeopleaimsto keepthetopmanagementsupportandtomotivatepeoplethrough trainingandgainsthattheycanhavefromtheprogram.Inthe sameline,keepingthecommunicationisanecessaryactionto preserveasystemicperspectiveoftheprocessandkeepthe indi-vidualsinvolvedinformedaboutwhatishappening.Theaction ofcontrollingresultsaimstopreservewhatwasplannedandto keeptheorganizationonthedesireddirection.
Theconsequencesor resultsoftheactionsandinteractions undertaken,oroftheirlack,arethechangeofculture andthe competitive skill. Pursuant the efficiency of the company in evolvingpeople, keeping the communication and controlling results,therewillbemoreorlesssatisfactoryconsequences.In Fig.1,themodelthatrepresentsthesubstantivetheory“Aphase ofchangeandlearning”ispresented.
Changeandlearninghappenwhenthecompanysucceedin theimplementation,butalsowhen the initiativesfail.In case of success,theorganization will bemoredeveloped andina
superiorevolutionarylevel,characterizedbytheacquisitionof competencestodealwithchange.Incaseoffailure,therewas a change to an inferior stage, for resources have been spent andthereturnhasnothappened.Inthiscase,theresistanceto changeisincreased,whichwillhampernewinitiativesrelated tothe implementationofperformanceimprovementmethods. Hereinafterthecategoriesaredescribedwiththeirsubcategories, propertiesanddimensions.
Knowingtherealityofthecompany
Thiscategoryhighlightstheimportanceofknowingthedaily businessliveofthecompany,ofanalyzingandcompilingdata about the current situation before making any decision. The understanding of the productive andmanagerial process, the reality of the departments, the size of the company, the cul-tureandthetypeofmarketenabletheuseoftheexistingstrong points,aswellastheiradequacywiththeconceptsestablished bytheperformanceassessmentandimprovementmodel.Onthe otherhand,theinobservanceofthesepointscanleadtothe fail-ureofimplementation,forexample,becauseofthenecessityof miraculousinvestmentsandextremestructurechanges.
[...]becauseotherwisenobodygivesopinionsanditstays
justontheliteratureorontheexampleofanothercompany.It iswhatIsaid,whathappensintheothercompanieshappens intheothercompanies,itisnotarecipe,itcannotbesimply implementedasadish,whichyoutellmewhattheingredients areandIjustcookit.(L1).
Wehavealreadyparticipatedinsomeworksdoneby con-sultantsinwhich,sometimes,itisimaginedthatthereisa recipe, but todevelopan enduring work, we knowthat it alwaysneedstobeaflexibletool,becauseevenifthe prob-lemsaresimilar,theworkwillneverhavethesamerecipe thantheotherused.(M2).
Table3
Categoryknowingtherealityofthecompany.
Knowingtherealityofthecompany:Thecompanyneedstoconsiderits particularitiesandtoverifyiftheyareconsistentwiththeproposedmodel Subcategory Property Dimensionalvariation Context Size Small–big
Sectors Administrative–productive Market Standard–different Culture Organizational
environment
Favorable–unfavorable
Processes Productive Mass–smallscale Managerial Routines–projects Coordinationunit Dedication Partial–exclusive
Composition Eventual–permanent Autonomy Low–high
Source:Preparedbytheauthors.
InTable3 thesubcategories,propertiesanddimensionsof thecategoryknowingtherealityofthecompanyaredescribed. Itishighlightedthatitisnecessarytopayattentiontothe con-text inwhichthe companyis.Specific actionsmust betaken accordingtothesizeofthecompany,itsinternalsectorsandthe marketinwhichitacts.Anothersubcategoryisrelatedtothe culture,highlightingthenecessityofapreviousanalysisofthe organizationalenvironment.
Regarding the processes, the attention is drawn to the necessityof aproductive sphere,sincecompanieswithserial production will have different demands of companies with small-scaleproduction,asitwasreportedbythecaseL.Within themanagerialprocesses,thetendencyisthatcompanieswith tradition in project management have an easier time imple-menting improvements than the ones guided by the routine management.Finally,theimportanceofacoordinationunitis highlighted.
Planning
Planning,astheRealityoftheCompany,isacategoryofthe substantivetheory“Aphaseofchangeandlearning”.Thus,itis highlightedthataconditiontohaveasuccessfulexperienceinthe operationalizationofassessmentandperformanceimprovement modelsisplanning.It,preferentially,mustbealignedwiththe strategicplanningoftheorganization.
Ithinkthatplanningisthemostimportantpartofaproject andIthinkthatBrazilianserralotonthis.(D1).
Thispartofalignmentwiththestrategicplanning,whichI thinkthat isaveryinterestingthing, thatafewcompanies make.(B2).
Developingaplanningisanessentialconditioninthe imple-mentationprocessofassessmentandperformanceimprovement methods.Abusinessenvironmentthatisnotfamiliarwiththis practice willhavegreatdifficultiesinconducting itsprogram andhavinggreatsuccessinitsactions.Awell-elaborated plan-ningshould provide conditions for the organization to orient towardwhichdirectionsitshouldfollowandwhichobjectivesit shouldachieve.Itshouldalsoprovideassessmentmechanisms
Table4
Categoryplanning.
Planning:Toensurethatthecompanyisclosertoachievegoodresults withtheimplementation,itisnecessarythatprioritiesareestablishedin
themanagerialandoperationallevels Subcategory Property Dimensional
variation
Activities Priorities Managerial–operational Costs/investment Equipmentand
technology
Adequacy–acquisition
Qualification Internal–external Dedication Partial–exclusive Actionplans Deadlines Parcial–total
Responsible person
Operational–management
Indicators Tangible–intangible Return Processes Productive–managerial
Image Internal–external
Source:Preparedbytheauthors.
ofactionsandpossibilitiesofcorrectionsincasesof inconsis-tencies.
In relation toplanning, Table4 evinces the subcategories costs/investments, action plans and return. Regarding the costs/investments,itisnecessarytoconsiderwhetherornotit willbenecessarytoacquireequipmentandtechnologies.Inthe sameline,itisrelevanttoplanifthequalificationofthe person-nelinvolvedwillneedexternalsupportorwillbedonebythe companyitself.Moreover,thematterofdedicationisevinced, thegreaterthededication,thegreatertheexpenditureoffinancial resources,consideringthattheemployeewillnotmakehis/her routinetaskstodedicatetotheimplementation.
Regarding the action plans, it was deemed convenient to dismember the deadlines in a specific property, due to their importance. They must beplanned inpartial andtotalterms. Itwillbealsonecessarytodefineresponsiblepersonscoming fromthe operationalandmanagerialspheres,andbeattentive inrelationtotheindicators,consideringtangibleandintangible aspects.Finally,itishighlightedthematterofplanningthereturn onthecontextoftheproductiveandmanagerialprocessesand whichgainstherewillbeintheseprocesses.Inthesamevein, itisdeemedrelevanttoconsiderthegainsrelatedtotheimage ofthecompany.
Know-how
Table5
Categoryknow-how.
Know-how:Thegreatertheknowledgeaboutthemodel,thegreaterthe chancestosucceedintheimplementation
Subcategory Property Dimensionalvariation
Model Experience Internal–external Training Involvedpeople Operational–managerial External
consultant
Knowledgeaboutthesector Unsatisfactory–satisfactory Knowledgeaboutthemodel Practical–theoretical
Source:Preparedbytheauthors.
Tosucceedintheapplication,theknowledgeofthetoolsis essential,aswellasitsapplicabilityfirstatthemanagement level, andafter,theworkgroupmustbeinformedthrough a mini-course and/or speech, so that the people initially involvedinthisworkareabletounderstandthemagnitude oftheapplicationofthetool.(C3).
So,forme,oneofthemainproblemsisthelackofinstruction ofourmanagers.Thislackofinstructioncomeslinkedtothe lackofmotivationtomakethingshappen,becausewhatIdo notknow,Iwilloftenrepel.Peoplewhodonotknoworare evennotinterestedenduprepellingandtonotexecutethe methodsthatneedtobeexecutedsothattheresulteffectively happens,thisisanimportantpoint.(J1).
Inthemanagers’comments,itisdiscussedaboutthe impor-tancethattheresponsiblepersonsfortheimplementationknow the method to be used. But, obviously, the organization not alwayshavepersonswhohavethisknowledge.Inthesecases, it will be necessary to create these conditions by means of strategiesthat maytake severaldirections,such as the hiring ofexternalconsultants,thetrainingof internalagents andthe learningbyexperiences.
InTable5theinformationrelatedtothecategoryKnow-how ispresented.Thematteroftheexperienceaboutthemodeltobe implementedishighlighted.Itissoughttoknowifthe profes-sionalpersonsinvolvedhavealreadyhadexperiencesinother contextsor only insidethe own company. The need to train theinvolvedpeopleintheoperationalandmanagerialscopeis alsoconsidered.Finally,whenthereistheneedtohirean exter-nalconsultant, itisdeemed relevant toconsiderthisperson’s knowledgeinrelationtothecompany’soperatingsectorandto the model tobe implemented; it isdesirable that thisperson hasasatisfactoryknowledgeabout thesectorandabalanced knowledgebetweentheoryandpracticeofthemodel.
Topmanagementsupport
The category Top management support highlights the involvementandcommitmentofthe highhierarchiclevels in thedevelopmentprocessoftheorganization.Themanagement supportisadeterminingfactortothebeginningandcontinuity ofaperformanceassessmentandimprovementprogram.Ifthe managementdoesnotshowinterest,theprogramends upleft out.Infact,itisoftennoticedthatifthereisnotopmanagement support,itisunlikelythattheplanningstarts.
Table6
Categorytopmanagementsupport.
Topmanagementsupport:Itisindispensablethattheinitiativecomes fromthehigherlevelsandthattheyshowsupportandcommitment
duringtheimplementationphase
Subcategory Property Dimensionalvariation Time Maturation Months–years
Dedication Eventual–daily Persuasion Planning Confuse–convincing
Knowledgeaboutthemodel Superficial–deep
Source:Preparedbytheauthors.
No matter the action you wish toimplement, without the support from the management, it does not move forward. (H1).
Thetopmanagementsupportisoneofthemainconditions foracompanytoestablishachangeconcisely.Thehigh man-agementwillinfluencetheotherpeopletoprioritizeoneof theseprojects.(E1).
Andwhyarewewherewearetoday?BecauseIhadsupport fromthepartnerswhoalsocomposetheboardofdirectors ofthecompanynowadays.TheysupportedeverythingIdid here,everythingIdidintermsofmethodworkedout,showed result,becauseIhadsupport.(J1).
Thematter ofsupportisconstitutedofavery bigobstacle toalargepartofthecompanies.Themanagementneedstobe convincedthattheprogramwillbringreturns,getinvolvedwith theprocessandknowwhathasbeendone.
ThecategoryTopManagementsupportisevincedinTable6. Thesubcategorytimeishighlighted,withtheproperties matura-tionanddedication.Inthisregard,itisevidencedthatthelonger thematurationtime,themoredifficultitwillbetokeepthe man-agementsupport.Regardingthededication,itisconsideredthat aneventualsupporttendstobeharmfultotheimplementation, becausetheinvolvedpersonnelmaystarttolosecredibilityin relationtotheimportanceoftheprogram.Itisalsohighlighted thesubcategoryknowledge.Inthiscontext,theproperty plan-ningevinced that themore convincingit is,thehigher is the probabilityof gettingmanagement support. In thesame line, thegreaterknowledgeaboutthemodelofthemanagement,the greateritscommitmentandsupportwillbe.
Gettingpeopleinvolved
Table7
Categorygettingpeopleinvolved.
Gettingpeopleinvolved:People’sinvolvementmusthappensincethe beginningoftheprogramandupholdduringtheimplementationprocess Subcategory Property Dimensionalvariation Explainingthe
gains
Function Degreeofeffortreduction Financial Specificincrease–constant Status Stagnation–appreciation Listeningto
people
Meetings Ocasional–routine Otherchannels Formal–informal Motivation Presentationoftheresults Participant–listener
Training Ocasional–continued
Source:Preparedbytheauthors.
Anessentialstepistheawareness,fromthechiefexecutive officertotheguard,goingthroughallofthem.Itdoesnot meanthatoneismoreimportantthantheother,buteverybody needstoknowwhatreallywants,anditmustcomefromtop tobottom,sothatitaffecttheothers.(I1).
Anditisalotaboutawareness,Iseethatitisthebasic,both themanagementsupportandyoureallygettoawaretheshop floorpersonnel,tellthemhowthatisimportantsothatthey embracetheidea.(C2).
Intheprocessofgettingpeopleinvolved,itisimportantthat thetopmanagement,togetherwiththechangeagents,isableto show,inaclearandunderstandableway,whichresultswillbe achieved,notnecessarilyfinancial.Peopleneedtounderstand theneedforchangefromthecurrentstatustoafutureone,when the companyreaches adifferent excellence level, whichwill improveitsperformance,and,therefore,peoplewillhavebetter opportunitiesofprofessionalgrowing.
InTable7thecategorygettingpeopleinvolvedishighlighted, withitssubcategories,propertiesanddimensions.The subcate-goryexplainingthegainshowsthatpeople’sinvolvementtends tobegreaterthegreatertheeffortreductiontothedutyis,andthe clearerthematterofremunerationpolicyandtheopportunities ofprofessionalgrowthare.Anotherpointtobehighlightedis relatedtotheimportanceoflisteningtopeople.Meetingsshould beregular andproductive andtheremustbeseveralchannels enabling peopletokeepan interactionwiththemanagement. Finally,it isemphasizedhow important itis tobeconcerned aboutpeople’smotivation.Thismotivationcanbeacquiredfrom people’sinvolvementinthepresentationof theresultsarising fromtheimplementation(partialandtotalresults)andthrough thecontinuousprovisionofprofessionaltraining.
Controllingresults
The category controllingresults highlightsthe importance offollowingtheprogressoftheimplementation.Inthisregard analyzinganddemandingtheresultsduringthephaseof opera-tionalization of the model are fundamentalactivities. Action planswhichhavenotbeenfinalizedyetmayengenderdistrust andincreasetheresistance.Itisimportanttoestablishindicators tocompareitbeforeandafter,inordertopresenttheprogresses
Table8
Categorycontrollingresults.
ControllingResults:Theconsequencesoftheimplementationwillbe moreorlesssatisfactorydependingontheefficacydegreeofthecontrol
oftheresultsoftheprogram.
Subcategory Property Dimensionalvariation Analysis Indicators Unachievable–achievable
Fullfilmentofdeadlines Discredit–credibility Maintenance Coordination’sdedication Partial–integral
Newroutines Implementationdegree
Source:Preparedbytheauthors.
made, so that the peoplefeel theimprovement andvalue the initiative.
Thenachangeprocesswillonlyexistifyouhaveacontrol process.So,ifIdon’thavecontrolofthisimplementation,I willneverimplement.Ineedtoimplementandcontrol, imple-mentandcontrolallthetime.IfIdon’tcontrol,deadlines, results,methodsandquantitiesarelost.(J1).
Thismatterofdeadlines,Ihonestlyhadahardtime, more-over,wehaveamodelofprojectmanagement,butIhadto changethedeadlinesthatIhadalreadyfinishedmanytimes. (D5).
It is essential that the responsible persons for the sectors are involved inthe initiatives, that assist inthe development of the improvement,buttheywillnotbe directlycontrolling, demandingandmanagingtheresults.Forthispurpose,aspecific coordinationisnecessary.
The informationrelatedtothecategoryControllingresults are highlighted inTable 8. Again, the importanceof the ful-fillmentof deadlines ishighlighted because,according tothe managers,thisitemisoftendecisivetothelossornotofthe pro-gramcredibility.Stillinrelationtotheanalysis,thenecessityof otherindicatorsishighlighted,whichmustincludetangibleand intangibleaspects.Finally,thesubcategorymaintenanceofthe improvementsshowsthatithasadirectrelationofitwiththe coordination’sdedicationtime(thelonger, thebetter)andthe implementationdegreeofthenewroutines.
Communication
Thecategorycommunicationemphasizestheimportanceof anefficienttransmissionoftheinformationrelativetothe imple-mentationprocess.Manycompanies,whenseekingthechange ofasituationdonotpaytheproperattentiontothe communica-tionprocess.Theidealizersofthechangecannotputthemselves intheclients’andinthe peoplewhocomposethe company’s place.
Notonlyinprojects,butIsayinthecompanyingeneral.I havebeenmanagingthissectionforeightyearsand,without adoubt,mostofourproblemsarerelatedtocommunication, arecommunicationfailures.(D1).
Table9
Categorycommunication.
Communication:Theorganizationmustestablishastructurethatenables peoplefromallthehierarchicallevelsandsectorstocommunicate. Subcategory Property Dimensionalvariation Betweensectors Committee Diversified–centralized
Datatransferbottleneck Rare–usual Betweenhierarchical
levels
Feedback Exception–daily Knowledgetransfer Confuse–didactic
Source:Preparedbytheauthors.
thecommunicationshouldbekeptfineandthefeedbackis essential.(E1).
Keepingthecommunicationisavaluableactionthatneedsto beworkedduringtheimplementationprocess.The communi-cationmustbeclearandefficientinordertoavoiddatatransfer bottleneckandkeepthemotivationandcommitmentofthegroup involved.
InTable9,thecategoryCommunicationisevinced,withits subcategories,propertiesand dimension.It ishighlighted the importanceoftheexistenceofacommitteewithdiversified for-mationinordertokeepthecommunicationbetweenthesectors. In the same line, attention isdrawn tothe fact that the lack ofcommunicationbetweensectors mayresultindatatransfer bottleneck.Theothersubcategoryemphasizestheimportance ofthe communicationbetweenthe hierarchicallevels.In this regard,themanagersassertthatthefeedbackmustbearegular practiceandthatthetransmissionofknowledgeshouldbedone asdidacticallyaspossible,consideringthetraininglevelsofthe involvedpeople.
Changeofculture
When the change of culture happens, the companyhas a changeinitsprofile,andinitsdevelopmentstandard.Depending onthecase,thereflectionofthechangemaybetheintroduction ofagreatprofessionalizationintheprocessesandinthe stan-dardsofthecompany,theintegrationofamindsetorientedto wastereductionandvaluecreation andothertransformations, accordingtothepremisesofthemodelemployedinthechange program.
Then from the moment that people create this culture insidethe company,theyalreadyseektobringideas, seek improvementthemselves,withouthavingtoconcernthetop managementor,sometimes,thebossorsomethinglikethat. Theyalreadygo,theyhaveautonomytoseekimprovements. (A1).
Thechangeofcultureisimportant,mainlythematter involv-ing any change that canhave inproductivity, is essential. (I2).
Thecategorychangeofcultureevincesthatifthe implemen-tationissuccessful,itcanprovidetotheorganization,besides theimplementationbenefits, internalcapabilitiestodeal with futuresituationsofchange,oncetherewillbeatransformation
Table10
Categorychangeofculture.
ChangeofCulture:Thereisnopossibilitythattheimplementation happenssatisfactorilyifthereisnotachangeofcultureinthe
organization.
Subcategory Property Dimensionalvariation
Changeofpeople Resistancetochange Boycott–commitment Changeinthe
processes
Managerial Functional–matrix Productive Unchanged–newroutines
Source:Preparedbytheauthors.
intheorganizationalprocessesandtheywillbemoreadaptedto facetheconstantpressurefordevelopmentandcompetitiveness improvement.
Thecategorychangeofculturerepresentsaconsequenceof theimplementationandisrepresentedbyTable10.Asuccessful implementationwillreflectdirectlyinthe inexistencyof boy-cottsinrelationtotheimprovementsandpeople’sconsequent commitmentwiththecause.Itindicatesthatitwaspossibleto diminishpeople’saversiontochanges.Thesubcategorychange intheprocesses,inturn,evincesthatthemanagerialprocesses tendtobecomemorefocusedtothematrixstandardand,inthe contextoftheproductiveprocesses,theywerechangedthrough theinstitutionalizationofnewroutines.
Competitiveability
Thecategorycompetitiveabilityhighlightsthegainsderived fromtheimplementationandtheirreflectiononthecompetition capabilityoftheorganization.Itisstressedtheconcern about associatingtheeconomicreturnoftheimprovementprogramto asocio-environmentalone,areturnregardingsafetyatworkand improvementintheproductivity.
Forexample,hereinourcompany,tosupplytheautomotive market, we need to havecertification from ISO,which is ISO TS, for automotive. So, severalcompetitors have the capabilitybutdon’thavethiscertificationandcannotsupply theautomotivemarket.(I2).
Wehavehadcaseswhenwedecreased60,70%theindexof loss.Itaffectsdirectlyinourcompetitiveperformance.(C1).
Another highlighted pointin relationto the gainadded is relatedtothe imageof thecompany, whichcanbeenhanced through the acquisition of certifications, awards and partici-pation insocial events. The implementation of improvement programsmustbesomethingthatinfluencespositivelythe com-pany’sgrowthanditsskillstocompete.
Table11
Categorycompetitiveability.
Competitiveability:Thesuccessfulimplementationwillprovideincrease inprofitability,improvementintheproductivityandimprovementofthe
imageoftheorganization.
Subcategory Property Dimensionalvariation Profitability Economic-financial Negative–positive
Costs Increase–reduction Productivity Safetyatwork Unchanged–increase
Improvementinduty Unchanged–greaterefficiency Image Certifications Without–with
Awards Unchanged–recognition
Source:Preparedbytheauthors.
wasobserved.Finally,thesubcategoryimageindicatesthatthe companythat succeededintheimplementation,dependingon themodelconsidered,gotacertificationthatwilldifferitover thecompetitors.Anotherwaytoimprovetheimageisthe recog-nitionofthecompanybeforesociety,suchasacquiringawards relatedtoenvironmentalmanagementactions,social responsi-bilityandothers.
Revisitingliterature
Afterthepresentationoftheresults,theliteraturereviewis revisited.Atthispartofthework,itispresentedanapproach oftheresultsofthesubstantivetheory“AphaseofChangeand Learning”withemergingresultsfromthetechnicalliterature.It wasstressedthatmanyaspectspresentedinthecategoriesare alsodescribedintechnicalliterature(observedinTable12).
Inthe categoryaboutthereality ofthecompany, literature highlightsaspectssuch asthefinancialsituationandthe envi-ronmentstability(Albertin,1996;Beberetal.,2006; Waal& Counet, 2009). Planning is considered by literature, mainly, relatedtotheexistenceofplansandgoals(Albertin,1996; Al-Mashari &Zairi,1999; Hashmi et al., 2015;Valentim etal., 2014).
The knowledge about the method,highlighted in the sub-stantive theory, appears with certain regularity in literature, highlightingthematteroftheconsultantandofthealignment of thesystem(Al-Mashari&Zairi,1999; Beberetal., 2006; Rocha-Pinto&DelCarpio,2011;Valentimetal.,2014). Like-wise,thetopmanagementsupportisdescribedbytheauthorsas oneofthemainsfactorstobeconsidered(Albertin,1996;Beber etal., 2006; Bourneet al., 2002;Burlim et al.,2007; Prieto, Pereira,Carvalho,&Laurindo,2006;Scherer&Ribeiro,2013; Valentimetal.,2014;Waal&Counet,2009).
Another factor highly evidenced in the substantivetheory andinliterature(Al-Mashari&Zairi,1999;Scherer&Ribeiro, 2013;Sena&Guarnieri,2015;Valentimetal.,2014;Waal& Counet,2009)waspeople’sinvolvement.However,thecontrol of theresults,despitebeing evidentinthe substantivetheory, isnotoftenhighlighted byliterature,beingmoreemphasized inWaal andCounet’s (2009)work. Communication,in turn, seenasarelevantfactorinthesubstantivetheory,isnotevinced inliterature,beingrememberedoccasionally,asinDeusetal. (2014).
Table12
Comparisonbetweensubstantivetheoryandliterature.
Category Aspectsapproached
Substantivetheory Literature
Realityofthecompany Context,culture, processes, coordinationunit
Resources, capabilities, instability,culture Planning Priorities,action
plans, cost/investment, return
Objectives, Project management, plans,control, indicators Know-how External
consultant, training, experience
External consultant, knowledge,ability
Topmanagementsupport Time,persuasion Commitment, leadership Gettingpeopleinvolved Explainingthe
gains,motivation, listentopeople
Resistance,lackof involvement
Controllingresults Analysis, maintenance
Internalcontrol, maintenance, focus Communication Betweensectors,
hierarchicallevels
Disseminationof information, systemic perspective Changeofculture Persons,processes Cultureof
performance management Competitiveability Profitability,
productivity, image
Benefitofthe results
Source:Preparedbytheauthors.
Thechangeofculture,inturn,isnotseenbyliteratureasa consequence,butasacondition(Bourneetal.,2002;Dolcietal., 2015;Rosa&CauchickMiguel,2012;Scherer&Ribeiro,2013; Trad&Maximiano,2009;Waal&Counet,2009).Inthe sub-stantivetheory,thecultureisseenasaprocessthatkeepsbeing workedoutandconstitutesaresultarisingfromthe implementa-tion.Finally,thecompetitiveability,describedinthesubstantive theory asaresult,isgenerically characterizedinliterature,as improvementinperformance.Attentionisdrawntothefactthat thesubstantivetheoryisabletointegrateseveralterms,whereas literaturepresentstheminspecificsituations,dilutedinseveral studies.
Thesubstantivetheoryenablesasystemicperspectiveofthe phenomenonbymeansofthecomprehensionandintegrationof the categories.Underthisperspective,itispossibletonotice, forexample,thatinordertoobtaintheTopManagement Sup-port,itisfundamentaltohaveagoodPlanning.Similarly,the TopManagementSupportisfundamentaltotheexistenceofa CoordinationUnit,which,inturn,willinterferedirectlywiththe efficiencyoftheControlofResults.Theserelationshipsemerged fromthedata,asobservedinTable13.
Table13
Exampleofrelationshipsbetweencategories.
Categories Evidences Effects
Developinga planning/top management support
Itisnecessarytoaware thedirectorsandshow themthenecessityofthe program,thatthe improvementsdonot happenovernight,butin mediumandlongterm, thisaspectis
fundamental.(J1). Becauseifyoushowonly thecostofthe
implementationandnot whenthereturnwill come,howthisreturnwill come,whowillsupport it?(I2).
Planningisoneofthe “weapons”thatcanbe usedtoaware, persuadeandobtain thetopmanagement support.Thebarrier createdbythe Brazilian entrepreneurs’ short-termismview canbeovercome throughaneffective planning.
Source:Preparedbytheauthors.
convergencebetweensomeresultsofthesubstantivetheoryand ofliteraturedoesnotmakethefirstlessrelevant,beforethat,it contributestothestrengtheningofthemodel.
Finalconsiderations
Atthebeginningofthisstudy,thehighindexof failurein theimplementationofperformanceimprovementmethodswas referred. Literature has presented results confirming this sit-uation. Studiesalert about the necessity of the companies in creatingafavorableenvironmentthatallowstheachievementof effectiveresultsandpromotestheorganization’sdevelopment.
Inthesubstantivetheory“aphaseofchangeandlearning” aspectsinherenttotheimplementationprocessarelisted.These aspectsprovideinformationthatcanassistinunderstandingthe difficultiesfacedbytheorganizationstopromotethenecessary changefromaproblematic statustoamoredevelopedone.It happensduetothecomplexityinherenttotheimplementation process,rangingfrommorerationalmatters,suchasthe knowl-edgeabout themodel tobe implemented,tomorebehavioral matters,suchaspeople’sinvolvement.Itisconsideredthat,from thepropositionof thistheoreticalmodel, theobjectiveof this studywastotallyachieved.
Oneofthemaincontributionsofthisstudyisitssupportto managers inthe sense of making the improvement programs moreusefultotheorganizations.Thesubstantivetheoryis pro-posedstartingfromalanguagederivedfromtheorganizational environment,inwhichtheuseofcomplicatedandverytechnical terms is avoided, in order to facilitate the managers’ under-standing,whoareeffectivelygoingthroughdifficultiesintheir organizationaldevelopmentprograms.
In view of what has been exposed, this study presents someaspectsthat differentiateitfromtheexistingworks that approachedtheimplementation theme.Atfirst, itis citedthe useof the grounded theorymethodology,whichprovides the generationof a substantivetheory onthe theme. There isno knowledge about studies developed with this purpose. The
secondaspecttobehighlightedintermsoforiginalityisrelated to the choice of the cases. In these terms, cases located in the StateofSanta Catarinawereapproached,whichare from different areas of activity and use (or used) different perfor-mance improvement models. It is believedthat thisdiversity of experiences strengthen the results presented and confers originality to the theoretical model proposed, considering that the existing studies focused on specific models. Finally, it is highlighted that the resultsarose fromthe reality of the managersfromthesubstantivecontextinvestigated.
Forfuturestudies,itissuggestedthereplicationofthemodel presented to other realities, using the proposed categories as guidestodatacollectionandanalysis.Inthisstudy,somethemes werehighlightedmarginally,suchasthecoststothecompanies thatcannotsucceedinsuchprograms.Inthisregard,itis sug-gested tobetter explorethis horizon, including,also, the use ofgrounded theory,inordertomakeitcleartomanagersand academic studentsthat the highfailurerateinthe implemen-tations highlighted inliterature is something serious andcan betheresponsibleforthelossofcompetitivecapabilityofthe organizations.
Conflictsofinterest
Theauthorsdeclarenoconflictsofinterest.
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